本文關(guān)鍵詞：論券商資產(chǎn)管理產(chǎn)品信托法律關(guān)系定位　出處：《華東政法大學(xué)》2014年碩士論文　論文類型：學(xué)位論文

  更多相關(guān)文章： 信托 分業(yè)監(jiān)管 券商資管 基礎(chǔ)法律關(guān)系

【摘要】：在我國當(dāng)前的資產(chǎn)管理市場或者說財(cái)富管理市場出現(xiàn)諸侯爭霸的局面的前提下，通道型的信托業(yè)務(wù)迅速向其他金融進(jìn)行了轉(zhuǎn)移。銀證合作、私募證券、財(cái)富管理等形式的不斷推陳出新，使得當(dāng)前國內(nèi)對(duì)理財(cái)市場的監(jiān)管面臨著巨大壓力。“類信托”的產(chǎn)品愈加收到高端投資者的青睞。隨著“信托產(chǎn)品”的不斷轉(zhuǎn)型，分業(yè)監(jiān)管模式已不能適應(yīng)當(dāng)前中國金融市場發(fā)展，本文依照信托的基本法律框架，結(jié)合當(dāng)前金融市場當(dāng)中理財(cái)模式的分析，對(duì)相應(yīng)問題進(jìn)行了分析并得出相應(yīng)的完善意見。 第一章討論券商資產(chǎn)管理模式定性及建構(gòu)法律框架的必要性與合理性。該部分從券商資管的運(yùn)作模式入手，論證對(duì)其進(jìn)行法律關(guān)系定位的必要性，即彌補(bǔ)監(jiān)管真空，性質(zhì)無法明確等問題，實(shí)現(xiàn)投資者利益保護(hù)和公平有序的金融市場環(huán)境。 第二章通過對(duì)券商資產(chǎn)管理的類型化分析討論券商資產(chǎn)管理市場中存在的問題，并論證以信托關(guān)系規(guī)范資產(chǎn)管理的合理性。券商資產(chǎn)管理分類有集合資產(chǎn)管理業(yè)務(wù)、定向資產(chǎn)管理業(yè)務(wù)及綜合資產(chǎn)管理業(yè)務(wù)，對(duì)其法律關(guān)系的定位模糊會(huì)產(chǎn)生極大的問題，體現(xiàn)在當(dāng)前理財(cái)產(chǎn)品市場中，表現(xiàn)為跨業(yè)合作監(jiān)管套利，司法判決定性錯(cuò)位等，本章認(rèn)為我國券商資產(chǎn)管理關(guān)系性質(zhì)應(yīng)該是信托關(guān)系，并強(qiáng)化監(jiān)管部門的權(quán)力和協(xié)調(diào)。 以前述分析為基礎(chǔ)，，第三章提出券商資管的相關(guān)法律規(guī)定的主要缺陷及完善目標(biāo)，即在確定券商資產(chǎn)管理業(yè)務(wù)基礎(chǔ)法律關(guān)系為信托關(guān)系基礎(chǔ)上，對(duì)類信托模式受托人、受益權(quán)以及所有權(quán)歸屬性質(zhì)上做分析判斷，明晰其信托的基本屬性。對(duì)于相關(guān)立法不足的補(bǔ)充以及提升監(jiān)管機(jī)構(gòu)監(jiān)管力度的一些建議。 在研究方法上，本文將交互運(yùn)用規(guī)范研究、實(shí)證研究、比較研究、歷史研究、專家論證等方法，對(duì)論證主題從多方面理論分析和實(shí)證分析，并針對(duì)本文研究過程遇到的重點(diǎn)難點(diǎn)，對(duì)包括金融機(jī)構(gòu)主管部門、監(jiān)督管理部門、政府相關(guān)部門、金融公司有關(guān)負(fù)責(zé)人、金融法律專家和金融產(chǎn)品中介部門人員等，進(jìn)行咨詢論證。
[Abstract]:In the current asset management market or wealth management market in China under the premise of the emergence of vassal hegemony, the channel trust business quickly transferred to other financial. Banking and securities cooperation, private securities. Wealth management and other forms of continuous innovation. The current domestic supervision of the financial management market is facing great pressure. "Class of trust" products are increasingly favored by high-end investors. With the "trust products" continuous transformation. The separated supervision mode can not adapt to the current development of China's financial market, this article according to the basic legal framework of trust, combined with the current financial market financial management model analysis. The corresponding problems are analyzed and the corresponding suggestions are obtained. The first chapter discusses the qualitative nature of the asset management model of securities firms and the necessity and rationality of constructing the legal framework. This part starts with the operation mode of capital management of securities firms and demonstrates the necessity of positioning their legal relations. That is to make up for the regulatory vacuum, the nature can not be clear and so on, to achieve the protection of investors' interests and a fair and orderly financial market environment. The second chapter discusses the problems existing in the market of asset management of securities firms by analyzing the types of asset management of securities firms. It also demonstrates the rationality of standardizing asset management by trust relationship. The asset management classification of securities firms includes collective asset management business, targeted asset management business and integrated asset management business. The vague positioning of its legal relationship will produce great problems, which can be reflected in the current financial products market, such as cross-industry cooperation regulatory arbitrage, judicial decision qualitative misplacement and so on. This chapter argues that the nature of asset management relationship of securities firms in China should be trust relationship, and strengthen the power and coordination of regulatory authorities. Based on the foregoing analysis, the third chapter puts forward the main defects of the relevant legal provisions of securities firms' capital management and the goal of improvement, that is, on the basis of determining the basic legal relationship of securities firms' asset management business as the trust relationship. This paper makes an analysis and judgment on the nature of the trustees, the beneficial rights and the ownership of the type trust model, and clarifies the basic attributes of the trust. It also makes some suggestions for the insufficiency of the relevant legislation and some suggestions on how to enhance the supervision and control of the regulatory bodies. In terms of research methods, this paper will use interactive normative research, empirical research, comparative research, historical research, expert demonstration and other methods, from various aspects of theoretical analysis and empirical analysis. And in view of the key difficulties encountered in the research process of this paper, including the competent departments of financial institutions, supervision and management departments, relevant government departments, financial companies related to the person in charge. Financial legal experts and financial products intermediary department personnel, such as consultation and demonstration.
【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：D922.282;D923.6

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